Search Results for: SEC
No more weak links – elite law firms unite to fight cyber security threat
March 9th, 2015
It has long been a gripe among major clients – in particular banks – that law firms are the chink in the armour against the growing barrage of cyber attacks. In response, some of the world’s top law firms ...
SEC Charges Texas-Based Brokerage Firm With Violating Supervisory and Customer Protection Rules
March 5th, 2015
The Securities and Exchange Commission today charged an Irving, Texas-based brokerage firm with violating key customer protection rules after failing to adequately supervise registered representatives who misappropriated customer funds. H.D. Vest Investment Securities agreed to settle the charges by ...
CYSEC Board Decision
March 5th, 2015
Following previous announcement dated February 18, 2015, the Cyprus Securities and Exchange Commission, following a decision in the meeting dated 2 March 2015, announces that the authorisation of the Cyprus Investment Firm ‘Pulp International Business Ltd’, with number 095/08, ...
CySec announcement for Cyprus Investment Firms
March 3rd, 2015
CySec has issued a press release to inform CIFs that: CIFs may use market data to provide investment services, and/or provide market data to their clients, only if they are authorized to do so by the person who has ...
SEC Suspends Trading in 128 Dormant Shell Companies
March 3rd, 2015
The Securities and Exchange Commission has issued an announcement informing that: It has suspended trading in 128 inactive penny stock companies to ensure they don’t become a source for pump-and-dump schemes. The trading suspensions are the latest in a ...
Hogan Lovells Ranked as Leading Firm by Global Arbitration Review for Sixth Consecutive Year
February 26th, 2015
Hogan Lovells‘ global international arbitration group has been ranked fourth place in Global Arbitration Review’s (GAR) annual listing of the world’s most active international arbitration practices for the second year running. This is the sixth consecutive year that Hogan ...
FD acquires Prelytix for up to $20m to boost presence in marketing technology sector
February 26th, 2015
First Derivatives, a leading provider of software and consulting services, today announces it has acquired the entire issued share capital of Prelytix Inc. (“Prelytix”) for an initial consideration of US$7.5m (£4.9m) and a maximum total consideration of US$20m (£13.0m). The acquisition, ...
CySec and Central Bank of the Russian Federation signed today an updated “MoU”
February 25th, 2015
CySec has issued a press release informing that: The Cyprus Securities and Exchange Commission (‘CySEC’) signed today an updated Memorandum of Understanding (‘MoU’) with the Central Bank of the Russian Federation (‘Bank of Russia’), following the transfer of the functions of ...
CySec warning against unauthorised firm
February 25th, 2015
The Cyprus Securities and Exchange Commission (CySec) wishes to inform the investors that the company ‘Janibank Investment Ltd’ (http://www.jukebux.com) : 1. Is not permitted to provide investment and ancillary services in the Republic, pursuant to Investment Services and Activities and ...
CySec warning against unauthorised firm
February 24th, 2015
The Cyprus Securities and Exchange Commission (CySec) wishes to inform the investors that the company ‘TALANTO CAPITAL MARKETS (CYPRUS)’ (http://www.talantocm.com): 1. Is not permitted to provide investment and ancillary services in the Republic, pursuant to Investment Services and Activities ...
